The Division of Securities administers and enforces the Ohio Securities Act. The Division licenses broker-dealers, securities salespersons, investment advisers, investment adviser representatives and investment officers. The Division also registers securities offered for sale to Ohioans. When Ohio securities law is violated, the Division can pursue administrative actions, civil injunctive actions and criminal referrals. Ohio is considered a model state in its licensing, registration, and enforcement practices.

Andrea Seidt is a national leader in state securities regulation through her role with the North American Securities Administrators Association. Seidt has served as Commissioner of Securities since 2008. Prior to her appointment, she worked on investor and consumer protection litigation as Deputy Chief Counsel for the Ohio Attorney General’s Office. She has also worked in private practice. Seidt received her undergraduate and law degrees from The Ohio State University.

We investigate alleged violations of securities laws.

File a complaint if you think Ohio securities laws have been violated.

Renewal Of FINRA Dealer

All FINRA member dealers must renew the firm and their salespersons through the WebCRD. A Preliminary renewal statement is
made available to each firm online in the Account section of WebCRD in early November each year. The firm’s renewal account
must be funded for the entire preliminary renewal statement amount, regardless of whether there are additions or deletions in
the number of reps, in order for the firm and their salespersons to be renewed. Failure to fund the renewal account with the
entire amount on the preliminary renewal account statement will result in the firm and its salespersons being terminated.
The renewal account must be funded prior to WebCRD shutdown in mid to late December. There are no exceptions in Ohio.
You must renew through WebCRD. Ohio will not accept a payment by check directly to the Division.

Renewal Of Non-FINRA Dealer

All Non-FINRA dealers will receive a renewal questionnaire, salesperson roster, fee worksheet, and instruction letter in
late October to early November. The renewal questionnaire must be completed and received by the Division with the
salesperson roster, fee worksheet, and check made payable to the “Division of Securities” no later than December 31 or the
last business day of December each year, whichever occurs earlier. Failure of the firm to submit the complete renewal
package to the Division prior to the end of the calendar year will result in the firm and its salespersons being terminated.

Renewal Of Investment Advisers

All Investment Advisers must renew the firm and their investment adviser representatives through the WebIARD/CRD. A
Preliminary renewal statement is made available to each firm online in the Account section of WebIARD/CRD in early November
each year. The firm’s renewal account must be funded for the entire preliminary renewal statement amount, regardless of
whether there are additions or deletions in the number of investment adviser representatives, in order for the firm and
their investment adviser representatives to be renewed. Failure to fund the renewal account with the entire amount on
the preliminary renewal account statement will result in the firm and its investment adviser representatives being
terminated. The renewal account must be funded prior to WebIARD/CRD shutdown in mid to late December. There are no
exceptions in Ohio. You must renew through WebIARD/CRD. Ohio will not accept a payment by check directly to the
Division.